Compliance Director
4 weeks ago
We are seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts in the Institutional Equities, Options, and Fixed Income markets. As a key member of our Compliance team, you will be responsible for overseeing both advisory and trade surveillance functions, providing expert regulatory guidance, and collaborating closely with business and supervisory teams to resolve any issues that arise.
Key Responsibilities- Advisory Compliance:
- Act as a strategic advisor to Equities, Options, and Fixed Income business and supervisory teams, offering expert insights on regulations and market practices.
- Develop, implement, and continuously refine Written Supervisory Procedures (WSPs), desk procedures, and supervisory structures to ensure compliance and operational efficiency.
- Proactively monitor regulatory developments, working with relevant stakeholders to incorporate new requirements into existing Compliance and Supervisory processes.
- Design and execute a comprehensive control testing program to evaluate the effectiveness of compliance and supervisory policies and procedures.
- Lead the response and management of both internal audits and regulatory exams related to equities, options, and fixed income, ensuring clear, well-documented results.
- Collaborate with other Compliance team members across divisions such as Investment Banking, M&A, Research, Control Room, and Licensing & Registration to ensure cohesive compliance practices.
- Drive initiatives that enhance compliance standards and minimize regulatory risks.
- Develop and deliver impactful compliance training programs that foster a culture of regulatory awareness across the organization.
- Represent the firm by participating in industry committees, conferences, and roundtables, staying informed on emerging trends and best practices.
- Surveillance Responsibilities:
- Conduct timely and thorough trade surveillance reviews and disclosures across Equities, Options, and Fixed Income, focusing on key regulations such as Reg NMS (CAT, 605, 606), Reg SHO, TRF, IOIs, ACT, Market Access, and Market Maker obligations.
- Monitor and analyze CAT & CAIS data for accuracy, addressing and resolving linkage errors promptly.
- Investigate trading exceptions flagged by Fidessa (order management system) and Nasdaq Smarts (trade surveillance system), providing actionable insights.
- Collaborate with Risk Management to optimize surveillance parameters within Nasdaq Smarts, enhancing both system performance and accuracy.
- Prepare, distribute, and analyze monthly FINRA report cards, offering data-driven recommendations to supervisory teams.
- Active FINRA licenses: Series 4, 7, 24, 57, and 63.
- Proficiency with Nasdaq Smarts trade surveillance and Fidessa order management systems.
- Comprehensive knowledge of SEC and FINRA regulations governing Equities, Options, and Fixed Income markets.
- 5-10 years of experience in trade surveillance and/or compliance advisory roles.
- Strong analytical skills, including experience with programming and query languages (e.g., SQL) for enhanced data analysis and surveillance capabilities.
- Self-motivated, with a proactive approach, strong work ethic, and a results-oriented mindset.
- Must be based in NYC or San Francisco, with the ability to work on-site at least three days per week.
Citizens Bank is a leading financial institution that values diversity, equity, and inclusion. We offer a collaborative environment that prioritizes professional growth and continuous learning. This role offers a unique opportunity to lead and shape compliance strategies within an organization dedicated to regulatory excellence.
BenefitsWe offer competitive pay, comprehensive medical, dental, and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs, and more.
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